Michael Berger

OPTAS

Austin, TX 78704

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CRD#: 2708511

Professional summary

Michael Berger is a registered financial advisor currently at OPTAS, LLC located in Austin, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Berger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 3, 2019 - Present

OPTAS, LLC

Office #1: 210 Barton Springs Rd Suite 415, Austin, TX 78704

RIA

CRD#: 299965

Austin, TX

Past

September 25, 2014 - May 8, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

June 21, 2010 - May 8, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

June 1, 2009 - July 9, 2010

MORGAN STANLEY

CRD#: 149777

SAN FRANCISCO, CA

Past

July 18, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

August 24, 2000 - April 6, 2005

PREFERREDTRADE, INC.

CRD#: 10993

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPTAS, LLC

OPTAS, LLC | VASI, LLC

CRD#: 299965 / SEC#: 801-115209

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/7/2019)

IAR

Texas
(5/3/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/21/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/31/2010

General Securities Sales Supervisor - Options Module Examination

Current Firm

OPTAS, LLC

OPTAS, LLC | VASI, LLC

CRD#: 299965 / SEC#: 801-115209

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

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Contact information

Main Address

210 Barton Springs Rd Suite 415, Austin, TX 78704

Mailing Address

Phone number

(888) 284-7139

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	660
AUM (Assets Under Management)	$ 741,352,124

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
10/23/2024	Cover Page	Report
02/08/2024	Cover Page	Report
11/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael Berger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Berger's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

PREFERREDTRADE, INC.

Primary Firm SEC Registration

OPTAS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2014

Series 63

Date: 10/2/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2000

Series 10

Date: 10/21/2010

Series 9

Date: 8/31/2010

Current Firm

OPTAS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OPTAS, LLC

TRUST BUT VERIFY

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